United States
Environmental Protection
Agency
Office of Brownfields
and Land Revitalization
(5150T)
EPA-560-F-19-184
October 2019
Funding Guidance for State and Tribal Response Programs Fiscal Year 2020
Section 128(a) of the Comprehensive Environmental Response, Compensation, and Liability Act
(CERCLA), as amended, authorizes a noncompetitive $50 million grant program to establish and enhance
state1 and tribal2 response programs. CERCLA section 128(a) response program grants
(https://www.epa.gov/brownfields/tvpes-brownfields-grant-funding) are funded with categorical3 State
and Tribal Assistance Grant (STAG) appropriations. Section 128(a) cooperative agreements are awarded
and administered by the U.S. Environmental Protection Agency (EPA) regional offices. This document
provides guidance that will enable states and tribes to apply for and use Congressionally-appropriated
Fiscal Year 2020 section 128(a) funds4.
Section 128(a)(l)(B)(ii)(III) of the Comprehensive Environmental Response, Compensation, and Liability
Act (CERCLA), as amended, also authorizes a noncompetitive $1.5 million grant program to assist small
communities, Indian tribes, rural areas, or disadvantaged areas to carryout section CERCLA 104(k)(7) (by
providing training, research, and technical assistance to individuals and organizations, as appropriate, to
facilitate the inventory of brownfields sites, site assessments, remediation of brownfield sites, community
involvement, or site preparation). The guidance regarding CERCLA 128(a)(l)(B)(ii)(III) Small Technical
Assistance Grants is located in Appendix A.
The Catalogue of Federal Domestic Assistance (https://www.cfda.gov/) entry for the section 128(a) state
and tribal response program cooperative agreements is 66.817. This grant program is eligible to be
included in state and tribal Performance Partnership Grants under 40 CFR Part 35 Subparts A and B, with
the exception of funds used to capitalize a revolving loan fund for brownfields remediation under section
104(k)(3), or purchase insurance or develop a risk sharing pool, an indemnity pool, or insurance
mechanism to provide financing for response actions under a state or tribal response program, or to
receive funds under section 128(a)(I)(B)(ii)(III).
Requests for Funding
Requests for funding will be accepted from October 1, 2019 - December 6, 2019. Requests that EPA
receives after December 6, 2019 will not be considered for FY2020funding.
Information that must be submitted with the funding request is listed in Section VIII of this guidance.
States or tribes that do not submit the request in the appropriate manner may forfeit their ability to
receive funds.
First time requestors are strongly encouraged to contact their Regional EPA Brownfields contacts,
listed on the last page of this guidance, prior to submitting their funding request.
EPA will consider funding requests up to a maximum of $1.0 million per state or tribe for FY2020.
EPA will consider requests submitted by the December 6, 2019 deadline. For those that are approved,
final cooperative agreement work plans and budgets will be negotiated with the regional offices once
final funding allocation determinations are made.
EPA will place special emphasis on reviewing a cooperative agreement recipient's use of prior
section 128(a) funding in making allocation decisions. Unexpended balances are subject to 40 CFR
1-The term "state" is defined in this document as defined in CERCLA section 101(27).
2The term "Indian tribe" is defined in this document as it is defined in CERCLA section 101(36). Intertribal consortia, as defined
in the Federal Register Notice at 67 FR 67181, Nov. 4,2002, are also eligible for funding under CERCLA section 128(a).
3Categorical grants are issued by the U.S. Congress to fund state and local governments for narrowly defined purposes.
4 The Agency may waive any provision of this guidance that is not required by statute, regulation, Executive Order or overriding
Agency policies.
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35.118 and 40 CFR_3 5.518 to the extent consistent with this guidance.
States and tribes requesting funds are required to provide a Dun and Bradstreet Data Universal
Numbering System (DUNS) number with their cooperative agreement's final package. For more
information, please visit w ww.grants.gov^
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Table of Contents
I. BACKGROUND 4
II. ELIGIBILITY FOR FUNDING 4
III. MATCHING FUNDS/COST-SHARE 4
IV. THE FOUR ELEMENTS - SECTION 128(a)(2) 4
V. PUBLIC RECORD REQUIREMENT 6
A. Distinguishing the "survey and inventory" element from the "public record" 6
B. Making the public record easily accessible 6
C. Long-term maintenance of the public record 7
VI. USE OF FUNDING 7
A. Overview 7
B. Uses related to establishing a state or tribal response program 8
C. Uses related to enhancing a state or tribal response program 8
D. Uses related to site-specific activities 9
E. Uses related to activities at "non-brownfield" sites 11
VII. GENERAL PROGRAMMATIC GUIDELINES FOR SECTION 128(a) GRANT FUNDING REQUESTS 12
A. One application per state or tribe 12
B. Maximum funding request 12
C. Define the state or tribal response program 12
D. Separate cooperative agreements for the capitalization ofRLFs using Section 128(a) funds 12
E. Authority to manage a revolving loan fund program 13
F. Section 128(a) cooperative agreements can be part of a Performance Partnership Grant (PPG) 13
G. Project period 13
H. Demonstrating the four elements 13
I. Establishing and maintaining the public record 13
J. Demonstration of significant utilization of prior years' funding 14
K. Allocation system and process for distribution of funds 14
VIII. INFORMATION TO BE SUBMITTED WITH THE FUNDING REQUEST 15
A. Summary of planned use of FY20 funding 15
IX. TERMS AND REPORTING 16
A. Progress reports 16
B. Reporting of program activity levels 19
C. Reporting of public record 19
D. Award administration information 20
REGIONAL STATE AND TRIBAL BROWNFIELDS CONTACTS 22
APPENDIX A: FUNDING GUIDANCE FOR CERCLA 128(a) SMALL TECHNICAL ASSISTANCE GRANTS 23
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I. BACKGROUND
State and tribal response programs oversee assessment and cleanup activities at brownfield sites across
the country. The depth and breadth of these programs vary. Some focus on CERCLA related activities,
while others are multi-faceted, addressing sites regulated by both CERCLA and the Resource
Conservation and Recovery Act (RCRA). Many states also offer accompanying financial incentive
programs to spur cleanup and redevelopment of contaminated properties. In enacting CERCLA section
128(a)5 Congress recognized the value of state and tribal response programs in cleaning up and
redeveloping brownfield sites. Section 128(a) strengthens EPA's partnerships with states and tribes, and
recognizes the response programs' critical role in overseeing cleanups.
This funding is intended for states and tribes that have the required management and administrative
capacity within their government to administer a federal grant. The primary goal of this funding is to
ensure that state and tribal response programs include, or are taking reasonable steps to include, certain
elements of an environmental response program and that the program establishes and maintains a public
record of sites addressed.
Subject to the availability of funds, EPA regional personnel will provide technical assistance to states and
tribes as they apply for and carry out section 128(a) cooperative agreements.
II. ELIGIBILITY FOR FUNDING
To be eligible for funding under CERCLA section 128(a), a state or tribe must:
1. demonstrate that its response program includes, or is taking reasonable steps to
include, the four elements of a response program described in Section IV of this
guidance; or be a party to a voluntary response program Memorandum of
Agreement (VRP MOA) with EPA;
AND
2. maintain and make available to the public a record of sites at which response
actions have been completed in the previous year and are planned to be addressed
in the upcoming year (see CERCLA section 128(b)(1)(C)).
III. MATCHING FUNDS/COST-SHARE
States and tribes are not required to provide matching funds for cooperative agreements awarded under
section 128(a), with the exception of section 128(a) funds a state or tribe uses to capitalize a Brownfields
Revolving Loan Fund (RLF), for which there is a 20% cost share requirement. Section 128(a) funds used
to capitalize a RLF must be operated in accordance with CERCLA section 104(k)(3).
IV. THE FOUR ELEMENTS - SECTION 128falf21
Section 128(a) recipients that do not have a VRP MOA with EPA must demonstrate that their response
program includes, or is taking reasonable steps to include, the four elements described below.
Achievement of the four elements should be viewed as a priority. Section 128(a) of CERCLA authorizes
funding for activities necessary to establish and enhance the four elements and to establish and maintain
the public record requirement.
The four elements of a response program are described below:
5Section 128(a) was added to CERCLA in 2002 by the Small Business Liability Relief and Brownfields Revitalization Act
(Brownfield Amendments).
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1. Timely survey and inventory ofbrownfield sites in state or tribal land. The goal for this element is
to enable the state or tribe to establish or enhance a system or process that will provide a
reasonable estimate of the number, likely locations, and the general characteristics ofbrownfield
sites in their state or tribal lands.
EPA recognizes the varied scope of state and tribal response programs and will not require states
and tribes to develop a "list" ofbrownfield sites. However, at a minimum, the state or tribe should
develop and/or maintain a system or process that can provide a reasonable estimate of the
number, likely location, and general characteristics ofbrownfield sites within their state or tribal
lands. Inventories should evolve to a prioritization of sites based on community needs, planning
priorities, and protection of human health and the environment. Inventories should be developed
in direct coordination with communities, and particular attention should focus on communities
with limited capacity to compete for and manage a competitive brownfield assessment, revolving
loan, or cleanup cooperative agreement.
Given funding limitations, EPA will negotiate work plans with states and tribes to achieve this
goal efficiently and effectively and within a realistic time frame. For example, many of EPA's
Brownfields Assessment cooperative agreement recipients conduct inventories ofbrownfield sites
in their communities or jurisdictions. EPA encourages states and tribes to work with these
cooperative agreement recipients to obtain the information that they have gathered and include it
in their survey and inventory.
2. Oversight and enforcement authorities or other mechanisms and resources. The goal for this
element is to have state and tribal response programs that include oversight and enforcement
authorities or other mechanisms and resources to ensure that:
a. a response action will protect human health and the environment and be conducted in
accordance with applicable laws; and
b. the state or tribe will complete the necessary response activities if the person conducting
the response fails to complete them (this includes operation and maintenance and/or long-
term monitoring activities).
3. Mechanisms and resources to provide meaningful opportunities for public participation.6 The
goal for this element is to have states and tribes include in their response program mechanisms
and resources for meaningful public participation, at the local level, including, at a minimum:
a. public access to documents and related materials that a state, tribe, or party
conducting the cleanup is relying on or developing to make cleanup decisions or
conduct site activities;
b. prior notice and opportunity for meaningful public comment on cleanup plans
and site activities, including input into the prioritization of sites; and
c. a mechanism by which a person who is, or may be, affected by a release or
threatened release of a hazardous substance, pollutant, or contaminant at a
brownfield site located in the community in which the person works or
residesmay request that a site assessment be conducted. The appropriate state
or tribal official must consider this request and appropriately respond.
4. Mechanisms for approval of cleanup plans and verification and certification that cleanup is
complete. The goal for this element is to have states and tribes include in their response program
6States and tribes establishing this element may find useful information on public participation on the EPA's community
involvement web site at https: //www, epa. gov/superfund/superfund-communitv-involvement.
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mechanisms to approve cleanup plans and to verify that response actions are complete, including
a requirement for certification or similar documentation from the state, the tribe, or a licensed site
professional that the response action is complete. Written approval by a state or tribal response
program official of a proposed cleanup plan is an example of an approval mechanism.
V. PUBLIC RECORD REQUIREMENT
In order to be eligible for section 128(a) funding, states and tribes (including those with MOAs) must
establish and maintain a public record system, as described below, to enable meaningful public
participation (refer to Section IV.3 above). Under section 128(b)(1)(C) of CERCLA, states and tribes
must:
1. maintain and update, at least annually, or more often as appropriate, a public record that includes
the name and location of sites at which response actions have been completed during the previous
year;
2. maintain and update, at least annually, or more often as appropriate, a public record that includes
the name and location of sites at which response actions are planned in the next year; and
3. identify in the public record whether or not the site, upon completion of the response action, will
be suitable for unrestricted use. If not, the public record must identify the institutional controls
relied on in the remedy and include relevant information concerning the entity responsible for
oversight, monitoring, and/or maintenance of the institutional and engineering controls; and how
the responsible entity is implementing those activities (see Section V.C).
Section 128(a) funds may be used to maintain and make available a public record system that meets the
requirements discussed above.
A. Distinguishing the "survey and inventory" element from the "public
record"
It is important to note that the public record requirement differs from the "timely survey and
inventory" element described in the "Four Elements" section above. The public record addresses
sites at which response actions have been completed in the previous year or are planned in the
upcoming year. In contrast, the "timely survey and inventory" element, described above, refers to
identifying brownfield sites regardless of planned or completed actions.
B. Mgking the public record egsilv gccessible
EPA's goal is to enable states and tribes to make the public record and other information, such as
information from the "survey and inventory" element, easily accessible. For this reason, EPA
will allow states and tribes to use section 128(a) funding to make such information available to
the public via the internet or other avenues. For example, the Agency would support funding
state and tribal efforts to include detailed location information in the public record such as the
street address and latitude and longitude information for each site.7 States and tribes should
ensure that all affected communities have appropriate access to the public record by making it
available on-line, in-print at libraries or at other community gathering places.
In an effort to reduce cooperative agreement reporting requirements and increase public access to
the public record, EPA encourages states and tribes to place their public record on the internet. If
7For further information on data quality requirements for latitude and longitude information, please see the EPA's data standards
web site available at https://www.epa.gov/sites/production/files/2015-06/documents/latlongstandard-
v2a_10022014.pdf.
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a state or tribe places the public record on the internet, maintains the substantive requirements of
the public record, and provides EPA with the link to that site, EPA will, for purposes of
cooperative agreement funding only, deem the public record reporting requirement met.
C. Long-term maintenance of the public record
EPA encourages states and tribes to maintain public record information, including data on
institutional controls, on a long-term basis (more than one year) for sites at which a response
action has been completed. Subject to EPA regional office approval, states or tribes may include
development and operation of systems that ensure long-term maintenance of the public record,
including information on institutional controls (such as ensuring the entity responsible for
oversight, monitoring, and/or maintenance of the institutional and engineering controls is
implementing those activities) in their work plans.8
VI. USE OF FUNDING
A. Overview
Section 128(a)(1)(B) of CERCLA describes the eligible uses of cooperative agreement funds by
states and tribes. In general, a state or tribe may use funding to establish or enhance its response
program. Specifically, a state or tribe may use cooperative agreement funds to build response
programs that include the four elements outlined in section 128(a)(2). Eligible activities include,
but are not limited to, the following:
developing legislation, regulations, procedures, ordinances, guidance, etc. that establish or
enhance the administrative and legal structure of a response program;
establishing and maintaining the required public record described in Section V of this
guidance;
operation, maintenance and long-term monitoring of institutional controls and engineering
controls;
conducting site-specific activities, such as assessment or cleanup, provided such activities
establish and/or enhance the response program and are tied to the four elements. In addition
to the requirement under CERCLA section 128(a)(2)(C)(ii) to provide for public comment on
cleanup plans and site activities, EPA strongly encourages states and tribes to seek public
input regarding the priority of sites to be addressedespecially from local communities with
health risks related to exposure to hazardous waste or other public health concerns, those in
economically disadvantaged or remote areas, and those with limited experience working with
government agencies. EPA will not provide section 128(a) funds solely for assessment or
cleanup of specific brownfield sites; site-specific activities must be part of an overall section
128(a) work plan that includes funding for other activities that establish or enhance the four
elements;
capitalizing a revolving loan fund (RLF) for brownfields cleanup as authorized under
CERCLA section 104(k)(3). These RLFs are subject to the same statutory requirements and
cooperative agreement terms and conditions applicable to RLFs awarded under CERCLA
section 104(k)(3). Requirements include a 20 percent match (in the form of money, labor,
material, or services from a non-federal source) on the amount of section 128(a) funds used
8States and tribes may find useful information on institutional controls on the EPA's institutional controls web site at
https://www.epa.gov/superfund/superfund-institutional-controls-guidance-and-policv .
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for the RLF, a prohibition on using EPA cooperative agreement funds for administrative costs
relating to the RLF, and a prohibition on using RLF loans or subgrants for response costs at a
site for which the recipient may be potentially liable under section 107 of CERCLA. Other
prohibitions relevant to CERCLA section 104(k)(4) also apply; and
purchasing environmental insurance or developing a risk-sharing pool, indemnity pool, or
insurance mechanism to provide financing for response actions under a state or tribal
response program.
B. Uses related to establishing a state or tribal response program
Under CERCLA section 128(a), establish includes activities necessary to build the foundation for
the four elements of a state or tribal response program and the public record requirement. For
example, a state or tribal response program may use section 128(a) funds to develop regulations,
ordinances, procedures, guidance, and a public record.
C. Uses related to enhancing a state or tribal response program
Under CERCLA section 128(a), enhancing a state or tribal response program includes related
activities that add to or improve a state or tribal response program or increase the number of sites
at which response actions are conducted under such programs.
The exact enhancement activities that may be allowable depend upon the work plan negotiated
between the EPA regional office and the state or tribe. For example, regional offices and states or
tribes may agree that section 128(a) funds may be used for outreach and training directly related
to increasing awareness of its response program and improving the skills of program staff
(training examples include ASTM standards for conducting Limited Transaction Screens,
Environmental Phase I and Phase lis). It may also include developing better coordination and
understanding of other state or tribal programs, (e.g., programs that address RCRA or
underground storage tanks (USTs)). As another example, states and tribal response program
enhancement activities can also include outreach to local communities to increase awareness
about brownfields, building a sustainable brownfields program, federal brownfields technical
assistance opportunities9 (e.g., holding workshops to assist communities in applying for federal
Brownfields grant funding, attending health fairs and cleanup days to inform individuals how to
identify hazards in their own living areas, abandoned buildings and among dumping areas), and
knowledge regarding the importance of monitoring engineering and institutional controls.
Additionally, enhancement activities can include facilitating the participation of the state and
local agencies (e.g., transportation, water, other infrastructure) in implementation of brownfields
projects. States and tribes can also help local communities collaborate with local workforce
development entities or Brownfields Environmental Workforce Development and Job Training
recipients on the assessment and cleanup of brownfield sites.10 Other enhancement uses may be
allowable as well.
9 EPA expects states and tribes will familiarize themselves with EPA's brownfields technical assistance
opportunities for brownfields communities. For more information on technical assistance opportunities, please visit:
https ://www. epa.gov/brownfields.
10 For more information about EPA's Brownfields Environmental Workforce Development and Job Training
Program, please visit: https ://www.epa. gov/brownfields/tvpes-brownfields-grant-funding
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D. Uses related to site-specific activities
1. Eligible uses of funds for site-specific activities
Site-specific assessment and cleanup activities should establish and/or enhance
the response program and be tied to the four elements. Site-specific assessments
and cleanups can be both eligible and allowable if the activity is included in the
work plan negotiated between the EPA regional office and the state or tribe, but
activities must comply with all applicable laws and are subject to the following
restrictions:
a. section 128(a) funds can only be used for assessments or
cleanups at sites that meet the definition of a brownfields site at
CERCLA section 101(39). EPA encourages states and tribes to
use site-specific funding to perform assessment (e.g. phase I,
phase II, supplemental assessments and cleanup planning) and
cleanup activities that will expedite the reuse and redevelopment
of sites, and prioritize sites based on need.11. Furthermore, states
and tribes that perform site-specific activities should plan to
directly engage with and involve affected communities. For
example, a Community Relations Plan (CRP) could be
developed to provide reasonable notice about a planned cleanup,
as well as opportunities for the public to comment on the
cleanup. States and tribes should work towards securing
additional funding for site-specific activities by leveraging
resources from other sources such as businesses, non-profit
organizations, education and training providers, and/or federal,
state, tribal, and local governments.
b. absent EPA approval, no more than $200,000 per site assessment
can be funded with section 128(a) funds, and no more than
$200,000 per site cleanup can be funded with section 128(a)
funds;
c. absent EPA approval, the state/tribe may not use funds awarded
under this agreement to assess and/or clean up sites owned or
operated by the recipient or held in trust by the United States
Government for the recipient; and
d. assessments and cleanups cannot be conducted at sites where the
state/tribe is a potentially responsible party pursuant to CERCLA
section 107, except:
at brownfield sites contaminated by a controlled
substance as defined in CERCLA section
11 An example of prioritizing sites based on need can be focusing on environmental justice. EPA defines
environmental justice as the fair treatment and meaningful involvement of all people regardless of race, color,
national origin, or income with respect to the development, implementation, and enforcement of environmental
laws, regulations, and policies. EPA has this goal for all communities and persons across the nation. Environmental
justice will be achieved when everyone enjoys the same degree of protection from environmental and health hazards
and equal access to the decision-making process to have a healthy environment in which to live, learn, and work.
For more information, please visit www.epa. gov/environmentaliustice.
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101 (39)(D)(ii)(I); or
when the recipient would satisfy all of the elements set
forth in CERCLA section 101(40) to qualify as a bona
fide prospective purchaser, or would satisfy all elements
101(40), except where the date of acquisition of the
property was on or before January 11, 2002.
Subawards are defined at 2 CFR 200.92 and may not be awarded to for-profit
organizations. If the recipient plans on making any subawards under the
cooperative agreement, then it becomes a pass-through entity. As the pass-
through entity, the recipient must report on its subaward monitoring activities
under 2 CFR 200.331(d). Additional reporting requirements for these activities
will be included in the cooperative agreement. In addition, subawards cannot
be provided to entities that may be potentially responsible parties (pursuant to
CERCLA section 107) at the site for which the assessment or cleanup activities
are proposed to be conducted, except:
1. at brownfields sites contaminated by a controlled substance as
defined in CERCLA section 101 (3 9)(D)(ii)(I); or
2. when the recipient would satisfy all of the elements set forth in
CERCLA section 101(40) to qualify as a bona fide prospective
purchaser or would satisfy all elements of CERCLA 101(40)(D)
except where the date of acquisition of the property was on or
before January 11, 2002.
2. Limitations on the amount of funds used for site-specific activities and waiver
process
States and tribes may use section 128(a) funds for site-specific activities that
improve state or tribal capacity. However, the amount recipients may request for
site-specific assessments and cleanups may not exceed 50% of the total amount
of funding.12 In order to exceed the 50% site-specific funding limit, a state or
tribe must submit a waiver request. The request must include a brief justification
describing the reason(s) for spending more than 50% of an annual allocation on
site-specific activities.
An applicant, when requesting a waiver, must include the following information
in the written justification:
total amount requested for site-specific activities;
percentage of the site-specific activities (assuming waiver is approved) in the
total budget;
site-specific activities that will be covered by this funding. If known,
provide site-specific information and describe how work on each site
contributes to the development or enhancement of your state/tribal response
program. Explain how the community will be (or has been) involved in
prioritization of site work and especially those sites where there is a potential or
12 Oversight of assessment and cleanup activities performed by responsible parties (other than the state or tribe) does
not count toward the 50% limit.
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known significant environmental impact to the community;
an explanation of how this shift in funding will not negatively impact the
core programmatic capacity (i.e., the ability to establish/enhance the four
required elements of a response program) and how the core program activities
will be maintained in spite of an increase in site-specific work. Recipients must
demonstrate that they have adequate funding from other sources to effectively
carry out work on the four elements for EPA to grant a waiver of the 50% limit
on using 128(a) funds for site-specific activities; and
an explanation as to whether the sites to be addressed are those for which the
affected community(ies) has requested work be conducted (refer to Section
VI. A Overview of Funding for more information).
EPA Headquarters will review waiver requests based on the information in the
justification and other information available to the Agency. EPA will inform
recipients whether the waiver is approved.
3. Uses related to site-specific activities at petroleum brownfield sites
States and tribes may use section 128(a) funds for activities that establish and
enhance response programs addressing petroleum brownfield sites. Subject to the
restrictions listed above (see Section VI.D.l) for all site-specific activities, the
costs of site-specific assessment and cleanup activities at petroleum brownfield
sites, as defined in CERCLA section 10l(39)(D)(ii)(II), are both eligible and
allowable if the activity is included in the work plan negotiated between the EPA
regional office and the state or tribe. Section 128(a) funds used to capitalize a
Brownfields RLF may be used at brownfield sites contaminated by petroleum to
the extent allowed under CERCLA section 104(k)(3).
4. Additional Examples of Eligible Site-Specific Activities
Other eligible uses of funds for site-specific related work include, but are not
limited to, the following activities:
technical assistance to federal brownfields cooperative agreement
recipients;
development and/or review of quality assurance project plans (QAPPs);
and
entering data into the Assessment Cleanup and Redevelopment Exchange
System (ACRES) database.
E. Uses related to activities at "non-brownfield" sites
Other uses not specifically referenced in this guidance may also be eligible and allowable.
Recipients should consult with their EPA regional state or tribal contact for additional
guidance. Costs incurred for activities at non-brownfield sites may be eligible and allowable if
such activities are included in the state's or tribe's work plan. Direct assessment and cleanup
activities may only be conducted on eligible brownfield sites, as defined in CERCLA section
101(39).
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VII. GENERAL PROGRAMMATIC GUIDELINES FOR SECTION 128fal GRANT
FUNDING REQUESTS
Funding authorized under CERCLA section 128(a) is awarded through a cooperative agreement13
between EPA and a state or a tribe. The program administers cooperative agreements under the Uniform
Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards regulations for
all entity types including states, tribes, and local governments found in the Code of Federal Regulations at
2 CFR Part 200 and any applicable EPA regulations in Title 2 CFR Subtitle BFederal Agency
Regulations for Grants and Agreements Chapter 15 as well as applicable provisions of 40 CFR Part 35
Subparts A and B. Under these regulations, the cooperative agreement recipient for a section 128(a) grant
is the government to which a cooperative agreement is awarded and which is accountable for use of the
funds provided. The cooperative agreement recipient is the legal entity even if only a particular
component of the entity is designated in the cooperative agreement award document. Further,
unexpended balances of cooperative agreement funds are subject to restrictions under 40 CFR 35.118 and
40 CFR 35.518. EPA allocates funds to state and tribal response programs consistent with 40 CFR
35.420 and 40 CFR 35.737.
A. One application per state or tribe
Subject to the availability of funds, EPA regional offices will negotiate and enter into section
128(a) cooperative agreements with eligible and interested states or tribes. EPA will accept only
one application from each eligible state or tribe.
B. Maximum funding request
For Fiscal Year 2020, EPA will consider funding requests up to a maximum of $1.0 million per
state or tribe. Please note that demand for this program continues to increase. Due to the
increasing number of entities requesting funding, it is likely that state and tribal individual
funding amounts in FY20 will be less than FY 19 individual funding amounts.
C. Define the state or tribal response program
States and tribes must define in their work plan the section 128(a) response program(s) to which
the funds will be applied and may designate a component of the state or tribe that will be EPA's
primary point of contact. When EPA funds the section 128(a) cooperative agreement, states and
tribes may distribute these funds among the appropriate state and tribal agencies that are part of
the section 128(a) response program. This distribution must be clearly outlined in their annual
work plan.
D. Separate cooperative agreements for the capitalization ofRLFs using
Section 128(g) funds
If a portion of the section 128(a) grant funds requested will be used to capitalize a revolving loan
fund for cleanup, pursuant to section 104(k)(3), two separate cooperative agreements must be
awarded (i.e., one for the RLF and one for non-RLF uses). States and tribes must, however,
submit one initial request for funding, delineating the RLF as a proposed use. Section 128(a)
funds used to capitalize an RLF are not eligible for inclusion into a Performance Partnership
Grant (PPG).
13A cooperative agreement is an agreement to a state/tribe that includes substantial involvement by the EPA on activities
described in the work plan which may include technical assistance, collaboration on program priorities, etc.
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E. Authority to manage a revolving loan fund program
If a state or tribe chooses to use its section 128(a) funds to capitalize a revolving loan fund
program, the state or tribe must have the lead authority to manage the program (e.g., hold funds,
make loans, enter into loan agreements, collect repayment, access and secure the site in event of
an emergency or loan default). If the agency/department listed as the point of contact for the
section 128(a) cooperative agreement does not have this authority, it must be able to demonstrate
that another agency within that state or tribe has the authority to manage the RLF and is willing to
do so.
F. Section 128(a) cooperative agreements can be part of a Performance
Partnership Grant (PPG)
States and tribes may include section 128(a) cooperative agreements in their PPG as described in
69 Fed. Reg. 51,756 (2004). Section 128(a) funds used to capitalize an RLF or purchase
environmental insurance or develop a risk sharing pool, an indemnity pool, or insurance
mechanism to provide financing for response actions under a state or tribal response program are
not eligible for inclusion in the PPG.
G. Project period
EPA regional offices will determine the project period for each cooperative agreement. These
may be for multiple years depending on the regional office's cooperative agreement policies.
Each cooperative agreement must have an annual budget period tied to an annual work plan.
While not prohibited, pre-award costs are subject to 40 CFR 35.113 and 40 CFR 35.513.
H. Demonstrating the four elements
As part of the annual work plan negotiation process, states or tribes that do not have VRP MOAs
must demonstrate that their program includes, or is taking reasonable steps to include, the four
elements described in Section IV. EPA will not fund state or tribal response program annual
work plans if EPA determines that these elements are not met or reasonable progress is not being
made. EPA may base this determination on the information the state or tribe provides to support
its work plan, on progress reports, or on EPA's review of the state or tribal response program.
/. Establishing and maintaining the public record
Prior to funding a state's or tribe's annual work plan, EPA regional offices will verify and
document that a public record, as described in Section V and below, exists and is being
maintained.14 Specifically, for:
states ortribes that received initial funding prior to FY19: Requests for FY20 funds will not
be accepted from states or tribes that fail to demonstrate, by the December 6, 2019 request
deadline, that they established and are maintaining a public record. {Note, this would
potentially impact any state or tribe that had a term and condition placed on their FY 19
cooperative agreement that prohibited drawdown of FY 19 funds prior to meeting the public
record requirement). States or tribes in this situation will not be prevented from drawing
down their prior year funds once the public record requirement is met; and
states or tribes that received initial funding in FY 19: By the time of the actual FY20 award,
the state or tribe must demonstrate that they established and maintained the public record
14 For purposes of 128(a) funding, the state or tribe's public record applies to that state or tribe's response program(s) that
utilized the section 128(a) funding.
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(those states and tribes that do not meet this requirement will have a term and condition
placed on their FY20 cooperative agreement that prohibits the drawdown of FY20 funds until
the public record requirement is met).
L Demonstration of significant utilization of prior years'funding
States and tribes should be aware that EPA and its Congressional appropriations committees
place significant emphasis on the utilization of prior years' funding. Unused funds awarded prior
to FY 19 will be considered in the allocation process. Existing balances of cooperative agreement
funds as reflected in EPA's Financial Data Warehouse as of January 1, 2020 may result in a
decreased allocation amount or, if appropriate, the deobligation and reallocation of prior funding
by EPA Regions, as provided for in 40 CFR 35.118 and 40 CFR 35.518.
K. Allocgtion system gnd process for distribution of funds
Afterthe December 6, 2019 request deadline, EPA's regional offices will submit summaries of
state and tribal requests to EPA Headquarters. Before doing so, regional offices may take into
account additional factors when determining recommended allocation amounts. Such factors
include, but are not limited to, the depth and breadth of the state or tribal program, and scope of
the perceived need for funding (e.g., size of state or tribal jurisdiction or the proposed work plan
balanced against capacity of the program, amount of current year funding, funds remaining from
prior years, etc.).
After receipt of the regional recommendations, EPA Headquarters will consolidate requests and
make decisions on the final funding allocations.
EPA regional offices will work with interested states and tribes to develop their preliminary work
plans and funding requests. Final cooperative agreement work plans and budgets will be
negotiated with the regional office once final allocation determinations are made. Please refer to
process flow chart below (dates are estimates and subject to change):
Oct-Dec Jan-Mar April April-June
Regional
Brownfields
Offices inform
recipient of
funding
amount
Recipient
coordinates with
EPA Regional
Brownfields
Office to develop
funding requests
EPA
Headquarters
and Regional
Brownfields
Office finalize
funding
amounts for
each recipient
Grantee works with
Regional Brownfields
Office to finalize work
plans and budgets, in
order to complete and
submit the cooperative
agreement application
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VIII. INFORMATION TO BE SUBMITTED WITH THE FUNDING REQUEST
A. Summary of planned use of FY20 funding
All states and tribes requesting FY20 funds must submit a summary of the planned use of
CERCLA 128(a) funds. Eligible entities must submit a draft work plan of the funds with
associated dollar amounts to their regional brownfields contact listed on the last page. Please
contact your regional brownfields contact or visit https://w w w .cpa.gov/brow nficlds/statc-and-
tribal-rcsponsc-program-grant-funding-guidancc-rcsourccs for a sample draft work plan.
For entities that received CERCLA 128(a) funding in previous years, respond to the following:
1. Funding Request.
a. Prepare a draft work plan and budget for your FY20 funding request. The funding
requested should be reasonably spent in one year. The requestor should work, as
early as possible, with their EPA regional program contact to ensure that the funding
amount requested, and related activities are reasonable.
b. In your funding request, include the prior years' funding amount. Include any funds
that you, the recipient, have not received or drawn down in payments (i.e., funds EPA
has obligated for grants that remain in EPA's Financial Data Warehouse). EPA will
consider these funds in the allocation process when determining the recipient's
programmatic needs. The recipient should include a detailed explanation and
justification of prior year funds that remain in EPA's Financial Data Warehouse. The
recipient should consult with the region regarding the amount of unspent funds which
require explanation to ensure they have addressed the full amount of any remaining
balance.
c. If you do not have a MOA with EPA, demonstrate how your program includes, or is
taking reasonable steps to include, the four elements described in Section VI.
Note: Programmatic Capability - [Only Respond if Specifically Requested by Region]
a. EPA Regions may request demonstration of Programmatic Capability if the returning
grantee has experienced key staff turnover or if the grantee has open programmatic
review findings. An entity's corresponding EPA Region will notify returning
recipients if the information below is required, and it must be included with your
funding request. Describe the organizational structure you will utilize to ensure sound
program management to guarantee or confirm timely and successful expenditure of
funds, and completion of all technical, administrative and financial requirements of
the program and cooperative agreement.
b. Include a brief description of the key qualifications of staff to manage the response
program and/or the process you will follow to hire staff to manage the response
program. If key staff is already in place, include their roles, expertise, qualifications,
and experience.
c. Discuss how this response program fits into your current environmental program(s).
If you do not have an environmental program, describe your process to develop, or
interest to start one.
d. Describe if you have had adverse audit findings. If you had problems with the
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administration of any grants or cooperative agreements, describe how you have
corrected, or are correcting, the problems.
For tribal entities that have never received CERCLA 128(a) funding, respond to the following:
1. Funding Request.
a. Describe your plan to establish a response program, why it is a priority for your tribe,
and why CERCLA 128(a) funding will be beneficial to your program. If your tribe is
already supported by a tribal consortium receiving CERCLA 128(a) funding, explain
why additional resources are necessary.
b. Prepare a draft work plan and budget for your first funding year. The funding
requested should be reasonably spent in one year. For budget planning purposes, it is
recommended that you assume funding sufficient to support 0.5 staff to establish a
response program and some travel to attend regional and national trainings or events.
2. Programmatic Capability.
a. Describe the organizational structure you will utilize to ensure sound program
management to guarantee or confirm timely and successful expenditure of funds, and
completion of all technical, administrative and financial requirements of the program
and cooperative agreement.
b. Include a brief description of the key qualifications of staff to manage the response
program and/or the process you will follow to hire staff to manage the response
program. If key staff is already in place, include their roles, expertise, qualifications,
and experience.
c. Discuss how this response program fits into your current environmental program(s).
If you do not have an environmental program, describe your process to develop, or
interest to start one.
d. Describe if you have had adverse audit findings. If you had problems with the
administration of any grants or cooperative agreements, describe how you have
corrected, or are correcting, the problems.
IX. TERMS AND REPORTING
Cooperative agreements for state and tribal response programs will include programmatic and
administrative terms and conditions. These terms and conditions will describe EPA's substantial
involvement including technical assistance and collaboration on program development and site-specific
activities. Each of the subsections below summarizes the basic terms and conditions and related reporting
that will be incorporated into your cooperative agreement.
A. Progress reports
In accordance with 2 CFR 200.328 and any EPA specific regulations, states and tribes must
provide progress reports meeting the terms and conditions of the cooperative agreement
negotiated. State and tribal costs for complying with reporting requirements are an eligible
expense under the section 128(a) cooperative agreement. At a minimum, state or tribal progress
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reports must include both a narrative discussion and performance data relating to the state or
tribe's accomplishments and environmental outputs associated with the approved budget and
work plan. Reports should also provide an accounting of section 128(a) funding. If applicable, the
state or tribe must include information on activities related to establishing or enhancing the four
elements of the state or tribe's response program. All recipients must provide information related
to establishing or, if already established, maintaining the public record. Depending upon the
activities included in the state or tribe's work plan, the recipient may also need to report on the
following:
1. Interim and final progress reports. Reports must prominently display the
following information, as reflected in the current EPA strategic plan: Strategic
Plan Goal 1: Core Mission: Deliver real results to provide Americans with clean
air, land, and water, and ensure chemical safety; Strategic Plan Objective 1.3:
Revitalize Land and Prevent Contamination; and Work Plan Commitments and
Timeframes. EPA's strategic plan can be found on the internet at
http://www.epa. gov/planandbudget/strate gicplan .html.
2. Reporting for Non-MOA states and tribes. All recipients without a VRP MOA
must report activities related to establishing or enhancing the four elements of the
state or tribe's response program. For each element states/tribes must report how
they are maintaining the element or how they are taking reasonable steps to
establish or enhance the element as negotiated in individual state/tribal work
plans. For example, pursuant to CERCLA section 128(a)(2)(B), reports on the
oversight and enforcement authorities/mechanisms element may include a:
narrative description and copies of applicable documents developed or
under development to enable the response program to conduct enforcement
and oversight at sites. For example:
o legal authorities and mechanisms (e.g., statutes, regulations, orders,
agreements); and
o policies and procedures to implement legal authorities; and other
mechanisms;
description of the resources and staff allocated/to be allocated to the
response program to conduct oversight and enforcement at sites as a result
of the cooperative agreement;
narrative description of how these authorities or other mechanisms, and
resources, are adequate to ensure that:
o a response action will protect human health and the environment;
and be conducted in accordance with applicable federal and state
laws; and if the person conducting the response action fails to
complete the necessary response activities, including operation and
maintenance or long-term monitoring activities, the necessary
response activities will be completed; and
narrative description and copy of appropriate documents demonstrating the
exercise of oversight and enforcement authorities by the response program
at a brownfield site.
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3. Reporting for site-specific assessment or cleanup activities. Recipients with work
plans that include funding for brownfield site assessment or cleanup must input
information required by the OMB-approved Property Profile Form into the
ACRES database for each site assessment and cleanup. In addition, recipients
must report how they provide the affected community with prior notice and
opportunity for meaningful participation, per CERCLA section 128(a)(2)(C)(ii),
on proposed cleanup plans and site activities. For example, EPA strongly
encourages states and tribes to seek public input regarding the priority of sites to
be addressed and to solicit input from local communities, communities with a
health risk related to exposure to hazardous waste or other public health
concerns, economically disadvantaged or remote communities, and communities
with limited experience working with government agencies.
4. Reporting for other site-specific activities. Recipients with work plans that
include funding for other site-specific related activities must include a
description of the site-specific activities and the number of sites at which the
activity was conducted. For example, the:
number and frequency of oversight audits of licensed site professional
certified cleanups;
number and frequency of state/tribal oversight audits conducted;
number of sites where staff conducted audits, provided technical assistance,
or conducted other oversight activities; and
number of staff conducting oversight audits, providing technical assistance,
or conducting other oversight activities.
5. Reporting required when using funding for an RLF. Recipients with work plans
that include funding for a revolving loan fund must include the information
required by the terms and conditions for progress reporting under CERCLA
section 104(k)(3) RLF cooperative agreements.
6. Reporting environmental insurance. Recipients with work plans that include
funding for environmental insurance must report the:
number and description of insurance policies purchased (e.g., name of
insurer, type of coverage provided, dollar limits of coverage, any buffers or
deductibles, category and identity of insured persons, premium, first dollar
or umbrella, whether site specific or blanket, occurrence or claims made,
etc.);
number of sites covered by the insurance;
amount of funds spent on environmental insurance (e.g., amount dedicated
to insurance program, or to insurance premiums); and
amount of claims paid by insurers to policy holders.
EPA's regional offices may also request that additional information be added to the progress
reports, as appropriate, to properly document activities described by the cooperative agreement
work plan.
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EPA regions may allow states or tribes to provide performance data in appropriate electronic
format.
The regional offices will forward progress reports to EPA Headquarters, if requested. This
information may be used to develop national reports on the outcomes of CERCLA section 128(a)
funding to states and tribes.
B. Reporting of program activity levels
States and tribes must report, by December 6, 2019, a summary of the previous federal fiscal
year's work (October 1, 2018 through September 30, 2019). The following information must be
submitted to your regional project officer:
environmental programs where CERCLA section 128(a) funds are used to support
capacity building (general program support, non-site-specific work). Indicate as
appropriate from the following:
Brownfields
Underground Storage Tanks/Leaking Underground Storage Tanks
Federal Facilities
Solid Waste
Superfund
Hazardous Waste Facilities
VCP (Voluntary Cleanup Program, Independent Cleanup Program, etc.)
Other ;
number of properties (or sites) enrolled in a response program during FY 19;
number of properties (or sites) where documentation indicates that cleanup work is
complete and all required institutional controls are in place, or not required;
total number of acres associated with properties (or sites) in the previous bullet;
number of properties where assistance was provided, but the property was not enrolled in
the response program (OPTIONAL);
date that the public record was last updated;
estimated total number of properties (or sites) in your brownfields inventory;
number of audits/inspections/reviews/other conducted to ensure engineering controls and
institutional controls are still protective; and
Did you develop or revise legislation, regulations, codes, guidance documents or policies
related to establishing or enhancing your Voluntary Cleanup Program/Response Program
during FY 19? If yes, please indicate the type and whether it was new or revised.
EPA may require states/tribes to report specific performance measures related to the four
elements that can be aggregated for national reporting to Congress.
C. Reporting of public record
All recipients must report, as specified in the terms and conditions of their cooperative agreement,
and in Section VII.I of this guidance, information related to establishing, or if already established,
maintaining the public record. States and tribes can refer to an existing public record (e.g.,
website or other public database to meet the public record requirement). To meet the reporting
requirement, recipients' reporting only needs to demonstrate that the public record: a) exists and
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is up-to-date; and b) is adequate. A public record must, as appropriate, include the following
information:
A list of sites at which response actions have been completed in the past year, including:
date the response action was completed;
site name;
name of owner at time of cleanup, if known;
location of the site (street address, and latitude and longitude);
whether an institutional control is in place;
type of institutional control(s) in place (e.g., deed restriction, zoning restriction,
local ordinance, state registries of contaminated property, deed notices, advisories,
etc.);
nature of the contamination at the site (e.g., hazardous substances, contaminants or
pollutants, petroleum contamination, etc.); and
size of the site in acres.
A list of sites planned to be addressed by the state or tribal response program in the coming year,
including:
site name and the name of owner at time of cleanup, if known;
location of the site (street address, and latitude and longitude);
to the extent known, whether an institutional control is in place;
type of the institutional control(s) in place (e.g., deed restriction, zoning
restriction, local ordinance, state registries of contaminated property, deed
notices, advisories, etc.);
to the extent known, the nature of the contamination at the site (e.g., hazardous
substances, contaminants, or pollutants, petroleum contamination, etc.); and
size of the site in acres.
D. Award administration information
1. Subaward and executive compensation reporting
Applicants must ensure that they have the necessary processes and systems in place to
comply with the subaward and executive total compensation reporting requirements
established under OMB guidance at 2 CFR Part 170, unless they qualify for an exception
from the requirements, should they be selected for funding.
2. System for Award Management (SAM) and Data Universal Numbering System (DUNS)
Requirements
Unless exempt from these requirements under OMB guidance at 2 CFR Part 25_(e.g.,
individuals), applicants must:
1. Be registered in SAM prior to submitting an application or proposal under this
announcement. SAM information can be found at
https: //www. sam. gov/portal/public/SAM/:
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2. Maintain an active SAM registration with current information at all times during which
they have an active federal award or an application or proposal under consideration by an
agency; and
3. Provide their DUNS number in each application or proposal submitted to the agency.
Applicants can receive a DUNS number, at no cost, by calling the dedicated toll-free
DUNS Number request line at 1-866-705-5711, or visiting the D&B website at:
http://www.dnb.com .
If an applicant fails to comply with these requirements, it will affect their ability to
receive the award.
Please note that the Central Contractor Registration (CCR) system has been replaced by
the System for Award Management (SAM). To learn more about SAM, go to SAM.gov
or https://www.sam.gov/portal/public/SAM/.
3. Submitting an application via Grants.gov
If funding is provided it will be provided through a cooperative agreement award. All
cooperative agreement applications for non-competitive assistance agreement awards
must be submitted using Grants.gov. Below is the information that the applicant will use
to submit their State and Tribal Response Program Grant applications via grants.gov:
CDFA number: 66.817
Funding Opportunity Number (FON): EPA-CEP-02
To learn more about the Grants.gov submission requirements, go to
https: //www .epa. gov/grants/how-applv-grants.
Please Note: Recipients should only submit their final work plan via Grants.gov. The
draft work plan due on December 6, 2019 should not be submitted via Grants.gov. The
draft work plan should be emailed to the regional contact listed on page 23.
Also, when the EPA project officer informs you when to submit your final work plan in
Grants.gov, it must be submitted using the "Workspace" feature. Information on the
Workspace feature can be found at Grants.gov Workspace Overview Page.
4. Use of funds
An applicant that receives an award under this announcement is expected to manage
assistance agreement funds efficiently and effectively and make sufficient progress
towards completing the project activities described in the work plan in a timely manner.
The assistance agreement will include terms and conditions related to this requirement.
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REGIONAL STATE AND TRIBAL BRQWNFIELDS CONTACTS
REGION
STATE
TRIBAL
1
CT, ME, MA, NH,
Rl, VT
James Byrne
5 Post Office Square, Suite 100 (OSRR07-2)
Boston, MA 02109-3912
Phone (617) 918-1389 Fax (617) 918-1294
AmyJean McKeown
5 Post Office Square, Suite 100 (OSRR07-2)
Boston, MA 02109-3912
Phone (617) 918-1248 Fax (617) 918-1294
2
NJ, NY, PR, VI
John Struble
290 Broadway, 18th Floor
New York, NY 10007-1866
Phone (212) 637-4291 Fax (212) 637-3083
Philip Clappin
290 Broadway, 18th Floor
New York, NY 10007-1866
Phone (212) 637-4431 Fax (212) 637-3083
3
DE, DC, MD, PA,
VA, WV
Mike Taurino
1650 Arch Street (3HS51)
Philadelphia, PA 19103
Phone (215) 814-3371 Fax (215) 814-3274
Mike Taurino
1650 Arch Street (3HS51)
Philadelphia, PA 19103
Phone (215) 814-3371 Fax (215) 814-3274
4
AL, FL, GA, KY,
MS, NC, SC, TN
Cindy Nolan
61 Forsyth Street, S.W, 10TH FL (9T25)
Atlanta, GA 30303-8960
Phone (404) 562-8425 Fax (404) 562-8788
Cindy Nolan
61 Forsyth Street, S.W, 10TH FL (9T25)
Atlanta, GA 30303-8909
Phone (404) 562-8425 Fax (404) 562-8788
5
IL, IN, Ml, MN,
OH, Wl
Keary Cragan
77 West Jackson Boulevard (SB-5J)
Chicago, IL 60604-3507
Phone (312) 353-5669 Fax (312) 692-2161
Rosita Clarke
77 West Jackson Boulevard (SB-5J)
Chicago, IL 60604-3507
Phone (312) 886-7251 Fax (312) 697-2075
6
AR, LA, NM, OK,
TX
Roger Hancock
1445 Ross Avenue, Suite 1200 (6SF)
Dallas, TX 75202-2733
Phone (214) 665-6688 Fax (214) 665-6660
Roger Hancock
1445 Ross Avenue, Suite 1200 (6SF)
Dallas, TX 75202-2733
Phone (214) 665-6688 Fax (214) 665-6660
7
IA, KS, MO, NE
Susan Klein
11201 Renner Boulevard (SUPRSTAR)
Lenexa KS 66219
Phone (913) 551-7786 Fax (913) 551-9786
Jennifer Morris
11201 Renner Boulevard (SUPRSTAR)
Lenexa KS 66219
Phone (913) 551-7341 Fax (913) 551-9341
8
CO, MT, ND, SD,
UT, WY
Christina Wilson
1595 Wynkoop Street (EPR-AR)
Denver, CO 80202-1129
Phone (303) 312-6706 Fax (303) 312-6065
Melisa Devincenzi
1595 Wynkoop Street (EPR-AR)
Denver, CO 80202-1129
Phone (303) 312-6377 Fax (303) 312-6962
9
AZ, CA, HI, NV,
AS, GU, MP
Jose Garcia, Jr.
600 Wilshire Blvd, Suite 1460
Los Angeles, CA 90017
Phone (213) 244-1811 Fax (213) 244-1850
Jose Garcia, Jr.
600 Wilshire Blvd, Suite 1460
Los Angeles, CA 90017
Phone (213) 244-1811 Fax (213) 244-1850
10
AK, ID, OR, WA
Mary K. Goolie
222 West 7th Avenue #19 (AOO)
Anchorage, AK 99513
Phone (907) 271-3414 Fax (907) 271-3424
Mary K. Goolie
222 West 7th Avenue #19 (AOO)
Anchorage, AK 99513
Phone (907) 271-3414 Fax (907) 271-3424
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APPENDIX A: FUNDING GUIDANCE FOR CERCLA 128(a) SMALL
TECHNICAL ASSISTANCE GRANTS
Section 128(a)(l)(B)(ii)(III) of the Comprehensive Environmental Response, Compensation, and Liability
Act (CERCLA), as amended, authorizes a noncompetitive $1.5 million15 grant program to assist small
communities, Indian tribes, rural areas, or disadvantaged areas to carryout section CERCLA 104(k)(7) (by
providing training, research, and technical assistance to individuals and organizations, as appropriate, to
facilitate the inventory of brownfields sites, site assessments, remediation of brownfield sites, community
involvement, or site preparation). These funds must be used to assist a community that meets the statutory
definition of disadvantaged area or small community to facilitate the reuse of brownfield sites. These
funds cannot be used to augment an existing CERCLA 128(a) State and Tribal Program. Also, these
funds may not be placed in Performance Partnership Grants.
Statutory definitions of communities eligible to receive funding on behalf of a state or tribe. A recipient
can define community as a census track:
Disadvantaged Area - The term 'disadvantaged area' means a community with an annual median
household income that is less than 80 percent of the statewide annual median household income,
as determined by the President based on the latest available decennial census and/or
Small Community - the term 'small community' means a community with a population of not
more than 15,000 individuals, as determined by the President based on the latest available
decennial census.
State and tribes with active CERCLA 128(a) grants and are requesting funds in fiscal year 2020 are
eligible to submit one request on behalf of a small community or disadvantaged area. The maximum
amount of funding allowed is $20,000. The funding will be awarded as part of the FY20 CERCLA 128(a)
funding grant. Requests will be considered based on the following:
readiness of the recipient and community to complete the project within a year of award,
the recipient is in good standing with their current CERCLA 128(a) grant,
the recipient has documented support from the community benefiting from this grant, and
the recipient adequately responds to the criteria listed below.
Requests should be no more than 2 pages. Information to include in the request:
the amount of funding requested,
a description of the target community and how they meet the statutory definition of disadvantaged
area or small community,
a description of the proposed project, including a description of key activities, and how it will
further brownfields reuse,
the expected outcomes and timeline to complete the project,
how/who will be conducting the activities (e.g., state, tribe, contractor)16
if additional resources are necessary to complete the project, please explain how you will secure
them,
15 If EPA receives over $1.5 million in requests, it will evaluate projects based on criteria listed in Appendix A. EPA
will prioritize fully funding high quality projects until appropriation cap is reached.
16 If a state or tribe plans to use a contractor or provide a subaward, states and tribes will have to follow EPA's
general procurement terms and conditions, as well as any relevant state or tribal requirements.
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an explanation of why existing state and tribal funding is inadequate to complete the proposed
project,
and demonstrate that the community supports the state or tribe receiving the grant
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